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A•••••• D•••• P•••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisorCertified Financial Planner33 years in industry

A•••••• D•••• P•••••

Advisor at N•••••••• P•••••••• L••

Wapakoneta, OH | MINNEAPOLIS, MN | Skokie, IL

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Search this name across graphsid dfx:ria:73f2ae81-d867-83ea-72a3-f63c27ed071a

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 10:20 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 2
On other graphs: 0
Observed: Jun 6, 2001 to Sep 15, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: N•••••••• P•••••••• L••
Current firm class: independent wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Nov 9, 1992earliest registration or exam on IAPD
Years in industry: 33derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
N•••••••• P•••••••• L••	Independent wealth	Feb 28, 2025	n/a	yes	MINNEAPOLIS, MN\|Skokie, IL\|Wapakoneta, OH	Current employment
P•••••• A•••••• G••••• L••	Bd affiliated wealth	Feb 25, 2014	Mar 3, 2025	no

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
T••• P•••••• C•••••••• F•••••••• P••••••• P•••	P•••••• A•••••• G••••• L••	Apr 21, 2025	Feb 25, 2014	-4,073	Firm change after gap	Other
P•••••• A•••••• G••••• L••	N•••••••• P•••••••• L••	Mar 3, 2025

Relationships

Registered with (4)

→ N•••••••• P•••••••• L••Registered adviserregistration: current employment
Feb 28, 2025 to presentfactForm ADV
→ T••• P•••••• C•••••••• F•••••••• P••••••• P•••Registered adviserregistration: previous registration
Apr 29, 2003 to Apr 21, 2025factForm ADV
→ P•••••• A•••••• G••••• L••Registered adviserregistration: previous registration
Feb 25, 2014 to Mar 3, 2025factForm ADV
→ L•• F•••••••• L••

Dated events

Occurred
Apr 21, 2025
A•••••• firm change
A•••••• D•••• P••••• left T••• P•••••• C•••••••• F•••••••• P••••••• P••• for P•••••• A•••••• G••••• L•• (registered 2014-02-25)
Form ADVobserved 7 days ago
Occurred
Mar 3, 2025
A•••••• firm change
A•••••• D•••• P••••• left P•••••• A•••••• G••••• L•• for N•••••••• P•••••••• L•• (registered 2025-02-28)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:73f2ae81-d867-83ea-72a3-f63c27ed071a
First observed: Jun 6, 2001
Last observed: Sep 15, 2026 7 days ago
Source families: Federal regulator filings
1 registered feed stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.